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1 | Instructions for Stock Market Issuers
Instructions for
Stock Market Issuers
____________
Ljubljana, 1 July 2019
The Instructions for Stock Market Issuers dated 1 July 2019 were posted on the Ljubljana Stock Exchange
website on 1 July 2019 and will apply from 16 July 2019.
2 | Instructions for Stock Market Issuers
TABLE OF CONTENTS:
1. GENERAL PROVISIONS ........................................................................................................ 3
2. LISTING SECURITIES ON THE STOCK MARKET AND ITS SUBSEGMENTS ................................ 4
3. LISTING CHANGES .............................................................................................................. 7
4. TEMPORARY SUSPENSIONS OF TRADING AT ISSUER'S REQUEST .......................................... 8
5. DELISTING SECURITIES .................................................................................................... 11
6. ISSUERS’ OBLIGATION TO FURNISH APPLICATIONS, DOCUMENTS AND DATA..................... 13
7. SERVING THE EXCHANGE SUMMONS ON ISSUERS ............................................................. 15
8. MANNER OF PROVIDING NOTICES AND DOCUMENTATION TO THE EXCHANGE, AND MANNER
OF PUBLICATION .......................................................................................................................... 16
9. THE EXCHANGE’S INFORMING OF THE AGENCY ................................................................. 19
10. MAKING EXCHANGE INFORMATION PUBLIC ....................................................................... 19
11. NOTIFYING MEMBERS OF HOW TO ACCESS REGULATED INFORMATION ............................. 19
12. DATA CONFIDENTIALITY ................................................................................................... 20
13. TRANSITIONAL AND FINAL PROVISIONS ........................................................................... 20
Disclaimer
All effort has been made to ensure the accuracy of this translation, which is based on the Slovene original.
Translations of this kind may nevertheless be subject to a certain degree of linguistic discord; in case of
doubt or misunderstanding, the Slovenian text, being the official version, shall thus prevail.
3 | Instructions for Stock Market Issuers
The Ljubljana Stock Exchange Inc. (“Exchange”) Management Board adopted at its meeting on 1 July 2019
on the basis of the provisions of Article 34 of the Articles of Association and Articles 9, 11–13, 15, 16, 18,
20, 27, 30, 35–38, 42, 45, 49, 52, 59, 64, 65, 68, 185, 187 and 189 of the Exchange Rules, the following
INSTRUCTIONS
FOR STOCK EXCHANGE MARKET ISSUERS
1. GENERAL PROVISIONS
Applicability of Instructions
Article 1
(1) These Instructions shall be used to meet those provisions of the Rules that stipulate the following for
issuers listed on the stock exchange market:
1. content of the issuers' Applications, in accordance with the Exchange Rules (forms and Listing
Agreement);
2. procedures in cases of changes in securities;
3. suspensions of trading applied for by the issuer;
4. procedure of delisting securities from the stock exchange market;
5. procedure of market allocation and transfer of securities;
6. content of and obligations to provide to the Exchange Applications, documents and data;
7. manner of submitting the Exchange summons to issuers;
8. informing the Securities Market Agency (“Agency”), and public disclosure of information by the
Exchange;
9. informing member firms of the option to access regulated information;
10. data confidentiality.
(2) On the basis of the signed Listing Agreement and the Exchange general acts, the Management Board
adopts decisions related to issuers referred to in Article 185 (1) of the Rules in the form of resolutions
binding for issuers. Resolutions regarding listings, listing changes, classification and transfer have the
legal force of amendments to the Listing Agreement.
(3) The provisions of these Instructions apply mutatis mutandis to the person that applied for listing and
to money market instruments.
Definitions
Article 2
(1) Individual terms and expressions used in these Instructions shall have the following meanings:
1. Rules: Ljubljana Stock Exchange, Inc. Rules.
2. Instructions: Instructions for Stock Exchange Market Issuers.
3. User: natural or legal person using SEOnet.
4. Subscriber: legal or natural person that has entered into a contractual relationship with the
Exchange, subscribing to an electronic service.
5. Issuer: legal person having issued or intending to issue securities.
6. Notice: any notice and other information that the issuer is, pursuant the law or the Rules, bound
to submit to the Exchange and/or make public.
4 | Instructions for Stock Market Issuers
7. Public announcement: announcements of issuers' notices, in accordance with the ZTFI.
8. SEO: electronic announcements system. It comprises several electronic services, differing in terms
of their working, functionality and capacity, as well as in terms of the quantity, meaning and
manner in which the information they hold and mediate is used.
9. SEOnet: public Exchange electronic service. Through SEOnet, the users, provided they have
standard electronic equipment and access to the Internet, may access the issuers’ public
announcements published on SEOnet, browse through Exchange notices on public
announcements published in daily newspapers and other media of which the issuers have
previously notified the Exchange in the manner required, as well as browse through other public
notices of SEOnet subscribers and the Exchange.
10. SEOin: Exchange electronic service subject to a subscription. Using SEOin, the subscribers,
provided they have standard electronic equipment and access to the Internet, may draft
standardised notices and submit them to the Exchange as well as publish them on SEOnet.
11. INFO STORAGE: centrally appointed mechanism for the central storage of regulated information.
It is operated by the Exchange, being authorised by the Agency.
12. General terms for SEO and INFO STORAGE: Ljubljana Stock Exchange Inc. General Terms and
conditions for SEO and INFOR STORAGE Services Provision.
(2) Individual terms, expressions and abbreviations defined by the Rules have the same meanings in these
Instructions as in the Rules.
2. LISTING SECURITIES ON THE STOCK MARKET AND ITS SUBSEGMENTS
Applications for Listing and Allocation of Securities
Article 3
(1) The issuer, or person eligible under the provisions of the ZTFI to apply for the listing of a security to
trading on the stock exchange, shall file the following documentation along with an Application form
from the attachment to these Instructions and the Listing Agreement in order to be granted listing:
1. Application for Listing Shares (marking the desired market sub-segment),
2. Application for Listing Bonds,
3. Application for Listing Close-end Funds,
4. Application for Listing Open-end Funds,
5. Application for Listing Structured Products (marking the type of product),
6. Application for Listing Depositary Receipts (marking the type of underlying product and desired
market sub-segment),
7. Application for Listing Money Market Instruments.
(2) The issuer shall enclose to each Application referred to in par. 1 of this Article the documentation listed
as obligatory attachments in the respective application forms along with unilaterally signed applications
forms and the Listing Agreement. The Listing Agreement is available at the Exchange.
(3) For its instrument in the process of listing the issuer proposes the first reference price, or else the
Exchange sets the value, so that the first reference price equals 100, regardless of the instrument type.
(4) In the Application for Listing Shares on the stock exchange market the issuer also marks the desired
market segment, to which the Exchange should list its shares when listing them on the stock exchange
market. The Exchange then adopts a Resolution on the Listing of Shares.
5 | Instructions for Stock Market Issuers
(5) In case of listing onto Prime Market issuers from other member states and from third countries must
publicly disclose the valid and applicable provisions of company law with respect to (at least) treasury
shares, repayment of paid-in amounts, profit sharing, procedures of changing the company's articles of
association (charter), preemptive right to purchase a proportional number of shares of future issues
and the strike of preemptive right.
Manner of Computing Quantitative Criteria for Listing and Allocation of Shares
Article 4
(1) In case of first listings on the stock exchange market the value of capital referred to in Article 11 of the
Rules shall be determined on the basis of book value.
(2) If the issuer's shares had been previously traded on the stock exchange market for over six months,
market capitalization shall be considered instead of book value. The average market capitalization of
the shares of the same class for the most recent 6 months of trading on the stock exchange market
shall be considered, applying the market capitalization as at the last day of each month.
(3) Percentage of class of shares in public hands referred to in Article 11 of the Rules shall be determined
by subtracting from total listed shares all shares held by individuals whose stakes exceed 5% of the
entire issue.
(4) Notwithstanding par. 3 of this Article, shares included in the market capitalization shall include the
shares held by:
1. open-end funds and
2. pension funds,
unless the shares held by an open-end fund or pension fund exceed 25% of the total issue.
Exception in the Event that an Issuer Has Not Published an Annual Report for the Last Three Years
Article 5
Pursuant Article 11 (2) of the Rules, when assessing whether investors are otherwise provided with the
information they need for an informed assessment, the Exchange takes into account the criteria set out in
Article 4 of the Agency Resolution on Detailed Rules on the Stock Market.
Share Transfer Due to Reviewed Criteria
Article 6
(1) Periodic reviews look at how shares listed on the Prime Market meet the designated liquidity criteria in
each period of 12 months, in accordance with the Ljubljana Stock Exchange Instructions for the Index,
Liquidity Criteria, Price List and other Statistical Data.
(2) Should, in accordance with Article 16 of the Rules, the Exchange find the issuer to be non-compliant
over two (2) consecutive review periods from the previous paragraph with the criteria specified in Article
16 (2) of the Rules, the Exchange shall inform thereof the issuer in writing within 10 days after the date
of the periodic review and invite it to make a statement about it. Thereupon the Exchange may adopt
a resolution on the transfer of the relevant shares to the highest possible equity market segment for
which they meet the relevant conditions and criteria. The Exchange shall inform all member firms and
the public of a share transfer into a lower market segment not later than three days prior to the transfer.
(3) In case of extraordinary events, the Exchange may also examine the meeting of conditions and criteria
for transferring shares to Prime Market listing. Reasons for extraordinary reviews are predominantly:
6 | Instructions for Stock Market Issuers
1. completed takeover procedure of the issuer,
2. other activities affecting ownership structure and dispersion of shares in public,
3. corporate actions,
4. suspected non-compliance with liquidity criteria, based on monitoring trading data,
5. breaches of disclosure criteria.
Transfer procedures and extraordinary reviews shall be governed mutatis mutandis by the provisions
applying to periodic reviews.
(4) The issuer shall be obliged to duly inform the Exchange of the signing of any contract with a liquidity
provider or its termination, in the manner specified in Chapter 8 hereunder.
(5) In case of established special market circumstances (e.g. changed conditions of trading), the Exchange
Management Board may, in order to ensure orderly trading, decide not to implement the transfer
procedure of securities into a lower market sub-segment after a review of quantitative criteria, as
stipulated by par. 1 of this Article, or decide to implement it only partially.
Deliberating on Prime Market Listing
Article 7
The Exchange may refuse to list a share on Prime Market if:
1. the criteria for Prime Market listing are not and cannot be met,
2. its listing on Prime Market went against the interests of Prime Market,
3. its listing on Prime Market went against the general interests of the public.
Listing of Money Market Instruments
Article 8
(1) In accordance with Article 45 of the Rules, in deliberating on the listing of money market instruments
(such as treasury bills and commercial papers) the Exchange applies the procedure stipulated in Article
40 of the Rules for bond listing procedures. The issuer, or person that may apply for the listing of a
money market instrument on the Exchange under the provisions of the ZTFI-1, either working towards
listing their instruments, shall file the application form from the attachment of these Instructions along
with a Listing Agreement, which together constitute the application for the listing of money market
instruments to the stock exchange market.
(2) For treasury bills issued by a Member State, the application for listing an issue shall consist of the
information memorandum for the issue in question and the special Listing Agreement referring to all
treasury bills issues of an issuer for which an application for listing was submitted.
(3) For money market instruments, the Listing Agreement may cover all issues of money market
instruments subject to an individual Application for Listing. In such a case the Listing Agreement shall
terminate upon the last issue, which is the subject of such a Listing Agreement, being delisted from the
stock exchange market.
(4) The basic information on a money market instrument published by an issuer prior to the start of trading
contains at least the following information:
1. information on the money market instrument for which listing on the stock market is requested;
2. information on the issuer including financial data;
3. information on risks that investors take by investing in money market instruments;
4. other important facts related to the issuer and its money market instruments.
7 | Instructions for Stock Market Issuers
3. LISTING CHANGES
Application for Change in Listing
Article 9
(1) The issuer, or person eligible under the provisions of the ZTFI-1 to apply for the listing of a security to
trading on the stock exchange, must – in accordance with Article 18 of the Rules – provide the Exchange
with an Application for Change, filed on the requisite form, which is an attachment to these Instructions:
1. in the event of a changed number of securities, and
2. in the event of changed features of securities.
(2) The person referred to in par. 1 of this Article shall enclose to the Application referred to in par. 1 of
this Article the documentation listed as obligatory attachments in the respective Application form.
(3) In the Application for Change, when the change affects the price of the security, the issuer shall also
determine the reference price after the change; otherwise it shall be determined by the Exchange.
(4) Due to the special nature of trading in open-end funds, the Exchange, in accordance with Article 65 (2)
of the Rules, automatically, without the issuer's application, brings the numbers of open-end fund shares
in the central registry or depository in line with the situation on the stock exchange market.
Special Rules for Change Procedures in Bonds
Article 9 a
(1) The issuer or person eligible under the provisions of the ZTFI-1 to apply for the listing of a security to
trading on the stock exchange, must inform the Exchange of any changes in bonds which affect the
position of bondholders in relation to the issuer and provide the Exchange with:
1. An Application for Change in a security in cases of:
• Changes in the features of bonds which are provided in the prospectus and not effected in
the central registry or central depository through the changing of their ISIN code, security
symbol, etc. (e.g. change in amortization schedule in accordance with prospectus);
• Changes in the features of bonds adopted according to the procedure and in a manner
provided in prospectus, conditions of bonds or insolvency law applicable to bonds (e.g.
technical replacement of bonds in central registry or central depository with replacement
bonds of the same issuer)
or
2. An Application for Temporary Suspension of Trading or Application for Delisting in cases of:
• Changes in the features of bonds which under applicable law result in expiration of the
existing liabilities arising from bonds and formation of a new liability, mainly the following:
• Changes in the features of bonds for which the procedure of adopting a decision on
this change is not provided in prospectus,
• According to Resolution and Compulsory Dissolution of Credit Institutions Actimposed
instrument of write-off and conversion of qualified liabilities, which are represented in
bonds and are listed on the stock exchange market.
(2) The Application referred to in par. 1 of this Article shall be filed on the requisite form, which is an
attachment to these Instructions. The Application shall contain also documentation listed as obligatory
attachments in the respective Application form.
8 | Instructions for Stock Market Issuers
(3) In the event of a change in amortization schedule of a bond, an applicant for change must provide the
Exchange with the new amortization schedule, which had previously been negotiated with KDD (Slovene
Central Securities Clearing Corporation).
(4) On the basis of a received Application for Change in a bond, the Exchange, if necessary, reconciles
information on changed conditions and other provisions regarding the bond with the central registry
and issues a resolution on the change in a relevant bond, provided that it finds the application for
change well-grounded. The change in the bond may be made in the Exchange’s trading system
immediately after the appropriate entry into central registry is made.
(5) The Exchange decides on applications regarding changes in the features of bonds referred to in item 2,
par. 1 of this Article in line with the procedure of temporary suspension of trading in and delisting.
4. TEMPORARY SUSPENSIONS OF TRADING AT ISSUER'S REQUEST
Special Reasons for Temporary Suspension of Trading
Article 10
(1) In accordance with Article 31 of the Rules, the Exchange may temporarily suspend trading in securities
or money market instruments on the stock exchange market if it receives a well-grounded written
application from the issuer for a temporary suspension of trading in its securities or money market
instruments. The temporary suspension of trading may last up to one trading day, unless the
circumstances of a case of the issuer's application demand a longer halt.
(2) The application shall be considered well-grounded if it indicates that:
1. the issuer’s business operations have encountered a business event or circumstance not known
to the wide public, which could therefore affect the price of the issuer’s security;
or if:
1. an important business event (e.g. the signing/cancellation of a contract, etc.) occurs during trading
hours, and
2. the issuer is unable to ensure the confidentiality of the relevant information until proper public
announcement is possible, and
3. the issuer intends to ensure proper public disclosure of the relevant information as soon as
possible;
or if:
1. a temporary suspension of trading is necessary due to procedures to be carried out in the KDD
(Slovene Central Securities Clearing Corporation) central registry and for other just reasons (e.g.
extension of suspension of trading);
or if:
1. circumstances had arisen that could lead to compulsory settlement or bankruptcy proceedings of
the issuer or other proceedings in accordance with Financial Operations, Insolvency Proceedings
and Compulsory Dissolution Act (ZFPPIPP), and:
• there have been speculations raised by the media about the financial health of the issuer and
its future operations, which the issuer cannot comment, or
• an important business event has occurred or a key decision has been adopted by the issuer,
which will impact the company’s future operations, but since the decision was adopted
9 | Instructions for Stock Market Issuers
independently of the company’s management and supervisory bodies the issuer was unable
to ensure a proper public announcement; and
2. circumstances had arisen due to which the company’s management has filed or intends to file for
bankruptcy in accordance with ZFPPIPP;
3. a resolution on initiation of bankruptcy proceedings was issued, which has not yet become final,
whereby the application for a temporary suspension of trading is filed by an Official Receiver,
or if:
1. the shareholders adopted a resolution on AGM on the minority squeeze-out and transfer of shares
to the majority shareholder.
(3) In the Application (Attachment 5) referred to in par. 1 of this Article, the issuer shall provide the
following data:
1. firm and registered office of issuer,
2. security, being the subject of the Application, and its security symbol,
3. seal and signature of an authorised person of the issuer,
4. contact person of the issuer, telephone and fax numbers,
5. just reasons for temporary halt, along with requested attachments,
6. exact time (date, time) of the suspension of trading.
The issuer shall submit the Application referred to in par. 1 of this Article to the Exchange in the manner
stipulated in Chapter 8 hereunder.
(4) In accordance with Article 43 (1) of the Rules it is considered that, in cases of changes in the features
of bonds which result in expiration of the existing liabilities arising from bonds and formation of a new
liability, these bonds no longer meet the conditions for trading. The Exchange thus deliberates in
accordance with the procedure of a temporary suspension of trading in bonds and delisting bonds
referred to in Article 43 and 44 of the Rules and Article 14 hereunder. The Exchange deliberates on the
future trading on the stock exchange market of the bond, which is formed due to such changes, in
accordance with the listing procedures referred to in Article 40 of the Rules.
(5) In accordance with Article 45 of the Rules, the Exchange deliberates on a temporary suspension of
trading in money market instruments according to the procedure stipulated in Article 43 of the Rules
regarding procedures for bonds and according to this Chapter hereunder. Special provisions regarding
temporary suspensions of trading in money market instruments are also given in Article 15 hereunder.
Special Rules for Temporary Suspension of Trading in case of Circumstances that could Result or have
Resulted in Insolvency Proceedings or Compulsory Settlement
Article 11
(1) Should the issuer asses there to be uncertain circumstances due to which the public speculates about
the company's future operations, it may file with the Exchange an application for suspension of trading,
in accordance with indent 4 of Article 31 (1) of the Rules. In the event that a resolution on initiation of
bankruptcy proceedings was issued against an issuer, the Official Receiver shall submit to the Exchange
the application for temporary suspension of trading, which lasts until the finality of the resolution on
initiation of bankruptcy proceedings.
(2) Should trading be suspended at the issuer’s request, due to circumstances that could result in insolvency
proceedings or compulsory settlement in accordance with Financial Operations, Insolvency Proceedings
and Compulsory Dissolution Act (ZFPPIPP), the temporary suspension of trading may last up to 10
10 | Instructions for Stock Market Issuers
consecutive trading days, unless the issuer files an application for a renewal of the suspension of
trading.
(3) The Exchange shall resume trading once an adequate public announcement has been made, which is
not later than on the 11th trading day of the suspension of trading, unless:
1. the issuer files a well-grounded application for a renewal of the suspension of trading;
2. the issuer undergoes bankruptcy proceedings.
In case of initiated bankruptcy proceedings in an issuer when conditions for delisting have not yet been
met (e.g. the resolution on initiation of bankruptcy proceedings has not become final), the temporary
suspension of trading may last up until the security is delisted.
(4) In its press release upon resumption of trading, the Exchange shall notify investors of the special
circumstances affecting the issuer.
(5) In accordance with regulations, the issuer shall be obliged to promptly meet its disclosure obligations
and ensure an appropriate public announcement of the agreement reached with creditors and
consequences of adopted measures. The issuer should also ensure a prompt disclosure of all relevant
events, decisions and anticipated consequences related to the compulsory dissolution proceedings,
bankruptcy proceedings or liquidation.
Criteria for Assessment of Circumstances that Require the Safeguarding of Investors' Interests
Article 11a
(1) In the event that, within the framework of monitoring compliance with the conditions for trading with
securities or within the framework of monitoring compliance with the disclosure obligations of regulated
information of issuers, the Exchange discovers facts or circumstances that might require safeguarding
of investors’ interest, the Exchange assesses these facts and circumstances in the light of the criteria
for ensuring the protection of investors’ interests.
(2) Criteria for ensuring the protection of investors’ interests in accordance with Article 31 (2) of the Rules
are the following:
• uniform informing of investors is provided;
• published information about the issuer and its shares offers adequate basis to uninformed
investors for reaching their key investment decisions regarding these shares;
• on the basis of the published information the status and content of the rights arising from the
shares are clear and unambiguous;
• the features of shares enable fair, orderly and efficient trading;
• trading in shares on the stock exchange market is in the interest of not only the existing
shareholders but also in the interest of potential new investors;
• circumstances related to the issuer do not provide for fair, orderly and efficient trading with the
shares of the issuer on the stock exchange market, etc.
(3) Temporary suspension of trading due to safeguarding of investors’ interests can be implemented if in
an individual case the Exchange discovers that an individual criterion or more criteria are not met. Which
criterion will be considered in a specific case depends on each individual case, whereby the following
criteria are mainly taken into account:
• characteristics and legal status of an individual security;
• segmentation of a security;
11 | Instructions for Stock Market Issuers
• the type of need for safeguarding of investors’ interests;
• discovered deviation within the framework of monitoring an issuer and its security, etc.
5. DELISTING SECURITIES
Application for Delisting Shares
Article 12
(1) In accordance with Article 34 of the Rules, a well-grounded application for delisting shares from the
stock exchange market may be filed by:
1. the issuer,
2. the person at whose request (but without the issuer's consent) the shares were listed on the stock
exchange market.
(2) In the event of an effective resolution on the delisting of its shares from the regulated market, the
issuer shall file with the Exchange the Application for Delisting Securities from Stock Exchange Market
(Attachment 6) and supplement it with:
1. a validly adopted resolution on the delisting of shares from the regulated market, in the form of a
copy of a notarial record;
2. notice on the entry of the resolution on delisting from the regulated market into the register of
companies.
(3) In case of other just reasons related to the issuer or security (e.g. merger or corporate restructuring or
the winding up of a company), the issuer shall file the Application for Suspension of Trading and
Application for Delisting immediately after having filed the application for the entry of the AGM resolution
into the register of companies. On the basis of the filed documentation and in compliance with the
issuer's Application, the Exchange shall halt trading in the respective security until it is to be delisted.
(4) On the day shares are delisted, the Listing Agreement shall terminate.
Special Rules for Delisting Shares upon Initiation of Bankruptcy Proceedings of Issuer
Article 13
(1) Should an issuer undergo bankruptcy proceedings, its shares shall be delisted in accordance with Articles
34 and 35 of the Rules, either following the application for delisting from the stock exchange market
filed by the Official Receiver (evidence of finality of the court’s resolution on initiated bankruptcy
proceedings) or on the basis of the Exchange’s measures (after having received the notice by central
depository – KDD on deletion of shares from the central register).
(2) In cases of issuers’ compulsory settlement, their shares shall normally not be delisted, unless its AGM
had adopted a resolution on delisting from the regulated market or unless other general reasons call
for it, as given in Article 34 of the LJSE Rules (e.g. measures by supervisory bodies, etc.).
Delisting Bonds
Article 14
(1) The Exchange shall delist bonds from the Stock Exchange market:
1. if all liabilities under these bonds have reached maturity,
2. if reason for delisting, referred to in Article 34 (1) of the Rules, are present, and
12 | Instructions for Stock Market Issuers
3. if receiving a well-grounded application from the issuer for the delisting of its bonds, filed on the
form from Attachment 6 hereunder, whereby the bonds shall be delisted after three months have
passed from the date the decision on delisting was adopted.
(2) In case of a change in the features of bonds referred to in item 3 of Article 42 (2) of the Rules, which
is not provided in the prospectus and which results in expiration of the existing liability arising from
bonds and formation of a new liability, it is considered that such bonds no longer meet the conditions
for trading. The issuer or the person who applied for the listing of bonds must provide the Exchange
with an Application for Suspension of Trading or Application for delisting of bonds from the stock
exchange market at the latest when relevant order is filed for effecting the change in the central registry.
On the basis of the filed documentation and in compliance with the issuer's Application, the Exchange
shall halt trading in the respective bond until it is to be delisted or shall decide on delisting of bonds.
(3) In the event of an effective resolution on the delisting of its bonds from the regulated market, the issuer
must file with the Exchange the Application for Delisting Securities from Stock Exchange Market
(Attachment 6) and supplement it with:
1. a validly adopted resolution on the delisting of bonds from the regulated market, in the form of a
copy of a notarial record attested by a notary public;
2. Issuer’s consent to delisting of bonds from the regulated market (which may be included in the
minutes from the bondholders’ meeting);
3. a notice about the public announcement of notary’s minutes from the bondholders’ meeting, which
contains the resolution on the delisting of bonds from the regulated market.
(4) On the day bonds are delisted, the Listing Agreement shall terminate.
Delisting Money Market Instruments
Article 15
(1) In accordance with Article 45 of the Rules, the Exchange deliberates on the delisting of money market
instruments according to the procedure stipulated in Article 44 of the Rules regarding procedures for
bonds.
(2) In accordance with Article 45 of the Rules and on the basis of an application from the issuer, the
Exchange may decide to temporarily suspend or delist money market instruments after summary
proceedings as soon as upon their listing by:
1. suspending trading and delisting from trading on the stock exchange market on a day requested
by the issuer (e.g. in case of government T-bills, two (2) working days prior to their maturity);
2. delisting them on the day of maturity, as given in the application for delisting by the issuer.
(3) If a Listing Agreement refers to several issues of money market instruments, it terminates upon the
delisting of the last issue subject to the Listing Agreement.
Application for Delisting Open-end Funds
Article 16
The Exchange shall delist open-end fund shares from the Stock Exchange market:
1. if reasons for delisting, referred to in item 1 of Article 50 (3) of the Rules, are present, and
2. if receiving a well-grounded application from the issuer for the delisting of its open-end fund
shares, filed on the form from Attachment 6 hereunder, whereby the open-end fund shares shall
be delisted after three months have passed from the date the decision on delisting was adopted.
13 | Instructions for Stock Market Issuers
6. ISSUERS’ OBLIGATION TO FURNISH APPLICATIONS, DOCUMENTS AND
DATA
Applications for Listing, Change in Listing, Transfer, Suspension of Trading, Delisting
Article 17
(1) In accordance with the Rules, issuers are obliged to provide the Exchange with requisite Applications,
the forms of which are appended to these Instructions, in the manner specified in Chapter 8 hereunder,
depending on the situation:
1. applications for listing securities or money market instruments on the stock exchange market
(Attachments 1, 7, 9, 11, 13, 14 and 16),
2. in case of changes to listing – Application for Change in Number and/or Features of Securities or
Money Market Instruments (Attachment 4),
3. applications for delisting securities or money market instruments (Attachment 6),
4. applications for transfer of securities (Attachment 3),
5. application for a temporary suspension of trading in securities or money market instruments
(Attachment 5).
(2) The application for listing securities or money market instruments on the stock exchange market
consists of a signed and completed form referred to in item 1 of par. 1 of this Article and the Listing
Agreement. The Listing Agreement must be signed by the issuer or person applying for listing and
furnished to the Exchange together with the form referred to in item 1 of par. 1 of this Article.
Supplementing an Application with Documentation
Article 18
The issuer shall enclose to each application the documentation listed as obligatory attachments in the
respective application forms.
Deadline for Filing Application
Article 18 a
(1) The issuer must file the application at the latest within the following deadlines:
1. Application for Change in Security:
• due to a change in number and/or features of securities: at the latest when filing an
application for entry of the change in the register of companies;
• in other cases – immediately after the reasons for filing the application arise.
2. Application for Suspension of Trading:
• due to failure to meet the conditions for trading:
• due to statutory restructuring of the issuer’s company – at the latest when filing an
application for entry of the change in the register of companies;
• due to winding-up of the issuer’s company – at the latest when filing an application for
entry of the change in the register of companies;
• due to performing procedures in the central registry or central depository – 4 working days
before the cut-off date for the execution of the corporate action, due to which the suspension
of trading on the stock exchange market is needed, in the central registry;
• due to safeguarding of investors’ interests:
• due to minority squeeze-out: at the latest the day after the adoption of the resolution
by AGM on the minority squeeze-out;
14 | Instructions for Stock Market Issuers
• due to commencement of bankruptcy proceedings – immediately after receiving a court’s
decision on commencement of bankruptcy proceedings if the request is filed by the
issuer;
• in other cases – immediately after the reasons for filing the application arise.
3. Application for Delisting:
• due to failure to meet the trading conditions – immediately after the reasons due to which
the issuer or security no longer meet the trading conditions on the stock exchange market
emerge;
• due to operation of the holders’ decision regarding the delisting of:
• shares from the organised market – at the latest the following day after receiving a
court’s decision on the entry of the decision on the delisting of shares from the regulated
market into the register of companies;
• bonds from the organised market – at the latest the following day after the public
announcement of notary’s minutes from the bondholders’ meeting, which contains the
resolution on the delisting of bonds from the regulated market;
• due to initiation of bankruptcy proceedings (filed by the Official Receiver ) – immediately
after the finality of a court’s decision on initiation of bankruptcy proceedings;
• in other cases – immediately after the reasons for filing the application arise.
Fact Sheets Required for Trading
Article 19
(1) Upon the listing of a security or money market instrument on the stock exchange market, the issuer
shall provide the Exchange with the information required in Attachment 8 hereunder.
(2) Should the information referred to in par. 1 of this Article change after being submitted to the Exchange,
the issuer shall immediately provide the Exchange with any such change in the manner specified in par.
3 of this Article.
(3) The information referred to in par. 1 and 2 of this Article shall be e-mailed to [email protected].
Provision of Prospectus
Article 20
The issuer, or person that may under the provisions of the ZTFI-1 request the listing of a security on the
stock exchange market, must upon listing – in the event that a prospectus has been drawn up – provide
the Exchange with an electronic version of the prospectus and any supplements thereof as authorised by
the Agency or another authoritative body, or a simplified prospectus, in the manner specified in Chapter 8
hereunder.
Report on Value of Close-End Fund Shares
Article 21
(1) In accordance with the Rules, the asset management company managing the close-end fund (DZU)
shall be obliged to daily report to the Exchange the value of its close-end fund share, on a form
appended to these Instructions. The report with the value(s) of close-end fund shares as of the previous
trading day is to be emailed to the Exchange to [email protected] by 13.00 on the current trading
day.
(2) The reporting obligation takes effect one trading day after the first day of trading on the Exchange.
15 | Instructions for Stock Market Issuers
(3) The serial report number is composed as follows: “year / three digit serial report number” (example:
2019 / 001). The date of the report is the date on which the company faxes the report to the Exchange.
Report on Value of Open-End Fund NAV per Unit
Article 22
(1) Duties of open-end funds and asset management companies managing them (DZUs), related to
disclosing information and reporting to the Exchange and the public, are governed by the ZISDU
(Slovene Investment Funds and Management Companies Act) and other laws and bylaws.
(2) In accordance with the Rules, a DZU shall be obliged to daily report to the Exchange the value of its
open-end fund NAV per unit, on a report form appended to these Instructions. The report with the
mentioned data as of the last accounting day is to be emailed to the Exchange to upravljanje-
[email protected] by 13.00 on the current trading day.
(3) The reporting obligation takes effect one trading day after the first day of trading in close-end fund
shares on the Exchange. The serial report number is composed as follows: “year / three digit serial
report number” (example: 2019 / 001). The date of the report is the date on which the company sends
the report to the Exchange.
(4) The DZU shall be obliged to report to the Exchange on events relevant for regulated trading in open-
end fund shares, in the manner stipulated in Chapter 8 hereunder.
7. SERVING THE EXCHANGE SUMMONS ON ISSUERS
Serving Resolutions and Contracts
Article 23
(1) The Exchange serves resolutions and contracts in accordance with Article 185 of the Rules, thus via
registered mail with an acknowledgement of receipt.
(2) Other documents are served by mail, fax, e-mail and/or in the manner stipulated in Chapter 7
hereunder.
Informing Issuers
Article 24
(1) The Exchange informs issuers and other users by email to the address provided in Attachment 15
hereunder. Emailing is mainly used to inform about new or changed Exchange acts being adopted.
(2) The Exchange's notices are considered served on the issuer or other user on the day it was emailed to
the address referred to in par. 1 of this Article.
(3) The Exchange also users alternate means of informing issuers:
1. by posting notices on SEOnet,
2. by posting press releases on its website.
Serving the Exchange Summons on Issuers
Article 25
16 | Instructions for Stock Market Issuers
(1) In accordance with Articles 65 and 68 of the Rules, the Exchange may request the issuer to:
1. explain the reasons and circumstances related to their non-compliance with any conditions for
trading, or provide a requisite application for a certain action or measure; or
2. explain the reasons and circumstances related to non-compliance with their obligation to disclose
regulated information.
(2) The Exchange summons shall be considered served on the issuer on the day it was emailed to the email
address given as the issuer's e-mail address on Attachment 15, in accordance with Article 24 hereunder.
8. MANNER OF PROVIDING NOTICES AND DOCUMENTATION TO THE
EXCHANGE, AND MANNER OF PUBLICATION
Communicating Notices and Documentation to the Exchange
Article 26
(1) All notices that the issuer is obliged to provide to the Exchange under law (e.g. regulated information)
and the Rules, along with all the supporting documentation (such as annual reports, semi-annual
reports, materials for the AGM, the notary’s minutes from the AGM, etc.) shall be delivered to the
Exchange – taking into account the urgency of delivery and scope of document – in one of the following
manners:
1. via the pre-pay SEOin system;
2. via direct entry into INFO STORAGE;
3. by e-mail to [email protected];
4. in other ways:
• by mail, addressed to Ljubljana Stock Exchange, Slovenska 56, 1000 Ljubljana, Slovenia;
• in person, to the Exchange registered office (secretariat).
(2) Notwithstanding the provisions of par. 1 of this Article, the issuer shall be obliged to provide the
Exchange with a prospectus authorised by the Agency or another authoritative body, in electronic form,
together with possible supplements or a simplified prospectus:
1. through the pre-paid SEOin system, or
2. by email to [email protected], or
3. through other media (CD).
(3) Should the delivery of the notice, application (e.g. for suspension of trading) or other documentation
be of an urgent nature, the issuer may email it to the Exchange to [email protected]. Files
enclosed to the notices sent by email may be of the following formats: MS Word, MS Excel, RTF files,
Adobe Acrobat Reader, text files, JPG files and GIF files.
(4) Notwithstanding the provisions of par. 1 of this Article, the issuer must provide the Exchange all
applications, which need to be addressed as priority in accordance with the Rules, i.e. on the same day,
as they become executable on the next trading day, by 11 a. m. at the latest. Scans of signed originals
are to be emailed to [email protected]. For any applications received after 11 a. m. the Exchange
does not guarantee a priority treatment.
(5) Notwithstanding the provisions of par. 1 of this Article, the issuer must provide the Exchange all
applications, which need to be addressed as urgent in accordance with the Rules, i.e. applications,
17 | Instructions for Stock Market Issuers
which need to be addressed before the start of trading on the current day, by 8.30 a. m. at the latest.
Scans of signed originals are to be emailed to [email protected]. For any applications received
after 8:30 a. m. the Exchange does not guarantee a timely treatment.
(6) When sending documents to the Exchange in accordance with these Instructions, the issuer is obliged
to protect the personal data not relevant for the implementation of the procedure (e.g. by blackening
out personal data so as to prevent reading).
Communication of Notices by Issuers – not SEOin Subscribers
Article 27
For issuers that do not enter into a pre-paid agreement for SEOin, the publication of their notice in INFO
STORAGE shall be considered as if they had provided the notice to the Exchange.
Communication of Notices by Issuers – SEOin Subscribers
Article 28
(1) A SEOin subscriber shall enter into an agreement with the Exchange on the use of the SEO system.
Conditions and terms of use of the SEOin are given in the SEOin Users’ Guide.
(2) A SEOin subscriber shall be obliged to use an appropriate SEOin notice type (entry interface) depending
on the content of the notice to be published, in accordance with the SEOin Users’ Guide.
(3) Should any attached files contain a virus, the Exchange shall neither examine nor publish them, while
it shall immediately notify the issuer thereof. Should the Exchange receive a contaminated file, the
issuer shall be obliged to provide, as soon as possible, another file or necessary information, in a manner
enabling the Exchange to examine and publish it.
(4) The notice shall be considered received by the Exchange once posted on SEOnet.
Manner of Publishing Notices on SEOnet
Article 29
(1) The manner of publishing notices on the SEOnet is stipulated by the SEOin Users’ Guide.
(2) A SEOin subscriber may normally formulate and design notices 24 hours a day. The Exchange performs
editing tasks each working day in accordance with General Terms for SEO and INFO STORAGE. Any
change in the provision of editing tasks is publicly announced by the Exchange on SEOnet.
(3) The Exchange strives to publish public announcements on SEOnet in accordance with the guidelines
provided by its subscribers, and to publish them as soon as possible.
(4) Public announcements on SEOnet are published in accordance with General Terms for SEO and INFO
STORAGE.
(5) Unless the issuer and the Exchange agree otherwise, the notice will be published at the time defined
by the user if complete documentation is received at least 30 minutes prior to that time.
Alternatives to SEOin
Article 30
(1) Should the subscriber be unable to use the SEOin system:
18 | Instructions for Stock Market Issuers
1. it shall be obliged to immediately notify the Exchange (over the phone);
2. it shall be obliged to, after ascertaining the problem together with the Exchange, deliver both, the
notice intended for public disclosure as well as a report on the discovered problem hindering the
use of SEOin, as instructed by authorised persons at the Exchange, in one of the manners specified
in Article 26 hereunder.
3. the Exchange shall ensure the public announcement of the notice on SEOnet or, should it be out
of order, on the alternate address http://seonetbackup.ljse.si, while also duly notifying the
subscriber thereof.
(2) Should the subscriber experience self-inflicted problems or errors and therefore be unable to use the
SEOin system, the Exchange will post a notice in its name on SEOnet if asked to do so and charge the
applicable fee in accordance with its Fee Schedule.
Responsibility for the Content of Notices on SEOnet
Article 31
(1) SEOin subscribers are fully responsible for the truthfulness, completeness and accuracy of the notices
delivered to the Exchange. Detailed provisions on responsibility are provided in the SEO System Services
Use Agreement and in the General Terms and Conditions of Providing SEO and INFO STORAGE Services,
and – with respect to the public – in the General Terms and Conditions of Access to and Use of SEOnet,
available at http://seonet.ljse.si.
(2) The subscriber should make a list of persons authorised to communicate the notices. The Exchange
shall designate these persons with user names and passwords.
(3) Along with the Exchange, the subscriber and the subscriber’s authorised person who was attributed
with SEOnet personal identification elements shall also bear full responsibility for an appropriate use of
personal identification elements. The subscriber shall be obliged to duly notify the Exchange of any
change to the above-mentioned list of authorised persons.
Accessibility of SEOnet and Alternatives to SEOnet
Article 32
(1) SEOnet notices are made available to the interested public in the Ljubljana Stock Exchange Price List at
https://www.ljse.si by choosing the 'SEOnet' icon, or directly at http://seonet.ljse.si.
(2) Should the central SEOnet system be out of order, the Exchange shall ensure access to SEOnet
announcements at the alternate location http://seonetbackup.ljse.si. The Exchange shall strive to the
best of its abilities to maintain the alternate location at a minimum working level, this meaning that it:
1. continually provides a list of all public announcements within the last seven days, as well as
ensures access to these announcements and to notices on the publication of all public
announcements (insofar as the Exchange has been notified of them);
2. prolongs the afternoon time for public announcements should this be deemed necessary.
19 | Instructions for Stock Market Issuers
9. THE EXCHANGE’S INFORMING OF THE AGENCY
Informing the Agency
Article 33
(1) In accordance with the ZTFI-1, executive regulations and Article 196 (1) of the Rules, the Exchange
shall inform the Agency of:
• a received application for listing, within three (3) working days of receiving it;
• its decision on an application for listing, within three (3) working days of adopting it;
• its dismissal of an application for listing, within three (3) working days of dismissing it;
• its decision on a temporary suspension of trading, immediately or the following working day at
the latest;
• its decision on delisting, immediately or the following working day at the latest;
• other matters stipulated by executive regulations, within three (3) working days of receiving it
(revocation of its decision about an application for listing, beginning of trading, listing of an
additional number of securities, transformation of a class of securities, merger, transfer of
securities, decrease in the number of securities).
(2) The Exchange shall inform the Agency in writing, by regular mail, or in other manners subject to
agreement.
10. MAKING EXCHANGE INFORMATION PUBLIC
Making Exchange Information Public
Article 34
(1) In accordance with Article 196 of the Rules, the Exchange posts on its website information on:
• listing, within three (3) working days of the listing and before the start of trading;
• temporary suspension of trading, on the day of the suspension or on the day when the decision
to suspend trading is adopted if this is in advance of the day of the actual suspension;
• delisting, on the day of the delisting or on the day when the decision to delist is adopted if this is
in advance of the day of the actual delisting.
(2) On its website the Exchange also posts information on classifications and transfers of securities on the
stock market.
11. NOTIFYING MEMBERS OF HOW TO ACCESS REGULATED INFORMATION
Notifying Member Firms
Article 35
(1) The Exchange shall continuously inform its members of the possibilities to access regulated information
as published by issuers in accordance with Chapter 3 of the ZTFI-1 or the MAR, by informing them of:
1. the issuer's manner of publication of regulated information and their selected publication venue;
2. which OAM (officially appointed mechanism) system the issuer has chosen for storing its regulated
information.
20 | Instructions for Stock Market Issuers
(2) The Exchange shall provide information from the previous paragraph to its members by posting on its
website (www.ljse.si) a list of the available publication venues where issuers publish their regulated
information.
12. DATA CONFIDENTIALITY
Data Confidentiality
Article 36
All issuers’ notices and other information delivered to the Exchange and/or publicly disclosed by issuers in
accordance with the Rules and the law shall be, prior to their publication, treated as confidential data by
the Exchange. Their content shall only be revealed to those employees directly responsible for them and
who shall in turn use them only in the course of regular activities directly related to this information.
13. TRANSITIONAL AND FINAL PROVISIONS
Adopting Instructions
Article 37
(1) These Instructions and amendments thereof shall be adopted by the Exchange Management Board.
(2) These Instructions and amendments thereof shall apply from the 15th day after being posted on the
Exchange website, unless the Exchange stipulate a shorter period in a particular case for serious reasons
or unless this Chapter provide otherwise.
Applicability of Instructions
Article 38
(1) These Instructions shall be posted on the Exchange website, and shall apply from 15th day after being
posted on the Exchange website.
(2) After these Instructions become applicable, the Instructions for Stock Exchange Market Issuers dated
22 December 2019 shall terminate.
Ljubljana, 1 July 2019
Ljubljana Stock Exchange Inc. Management Board
Nina Vičar, MSc
Member of the Management Board
Aleš Ipavec, MSc
President of the Management Board
21 | Instructions for Stock Market Issuers
ATTACHMENTS (application forms):
1. Application Form for Listing Shares
2. Distribution of Class of Shares in Public
3. Application for Transfer of Shares
4. Application for Change in Number and/or Features of Listed Securities or Money Market
Instruments
5. Application for Temporary Suspension of Trading in Securities or Money Market Instruments
6. Application for Delisting of Securities or Money Market Instruments
7. Application Form for Listing Bonds
8. Bond Issue Fact Sheet
9. Application Form for Listing Open-end Fund Shares
10. Report on Open-end Fund NAV per Unit
11. Application Form for Listing Close-end Fund Shares
12. Report on Value of Close-end Fund Shares
13. Application Form for Listing Structured Products
14. Application Form for Listing Depositary Receipts
15. User’s E-Mail Address
16. Application Form for Listing Money Market Instruments
22 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING SHARES (Form 01/SVP)
Applicant
(issuer; person with issuer's
consent; person without issuer's
consent)
Date filed
Date received
(completed by Exchange)
1. General information on issuer
1.1. Market segment (circle) Prime Market Standard Market
1.2. Issuer firm
1.3. Issuer registered office
1.4. Issuer address
1.5. Issuer ID no
1.6. Issuer LEI Code
1.7 Issuer FISN Code
1.8 Issuer home state
(for shares by issuers from third countries – investment firm authorized for listing procedure)
1.9 Date of incorporation
1.10 Business activity
1.11 General information on share to be listed
a. Symbol
b. Class
c. Number
d. Type (circle) no-par value shares par value shares
e. Nominal value (for par value shares)
f. Total issue value to be listed
g. Name of central depository of dematerialized securities
and date of entry
h. Date of entry into central depository
i. Materialized shares collectively held in central depository
1.12. Prospectus published (date, venue)
1.13. Reference price on first trading day
1.14. Requested date of listing:
1.15. Requested date of beginning of trading:
2. Shares listed on another regulated market (circle) yes no
1.1. Which regulated market
3. Liquidity provider (LP) (fill out if applicable) yes no
3.1. LP firm
3.2. LP registered office
Statement: by signing this application the issuer confirms to have concluded a valid agreement on liquidity provision for
the class of shares subject to this Application.
23 | Instructions for Stock Market Issuers
4. Selected officially appointed mechanism (OAM)
5. Manner of publishing information (which medium)
6. Contact info
a. Issuer’s contact person
b. Telephone no.
c. E-mail address
7. Allocation into stock exchange markets
7.1. Allocation into Standard Market – Attachments required along with Application
a) If prospectus was drawn up • regulator’s decision on authorization of the prospectus
• prospectus with possible supplements in electronic form,
authorized by an authoritative body
b) If prospectus was not
mandatory
• issuer's statement on making use of the exemption from publication of the
prospectus, along with the issuer’s notice on such a statement having been
provided to the regulator
c) Always for Entry Market • certificate stating that the legal position of the issuer (its incorporation and
legal form of organization) is in compliance with the regulations in force in
the state of its registered office;
▪ issuer’s articles of association, consolidated version;
▪ extract from the register of companies;
• certificate stating that the securities have been validly issued (in
dematerialized form and have been entered into the central registry, or in
materialized form and are collectively held in the central depository) and
that the conditions for reliable settlement of trades in these securities are
met
• the form Issuer Fact Sheet – completed and emailed to the Exchange
• the form User’s E-Mail Address
• evidence of payment of the fee for deciding on listing (payment is to be
credited in compliance with the Exchange Fee Schedule in force from time to
time, to current account number 03100-1006373354 held by SKB BANKA d.
d. Ljubljana)
7.2. Allocation onto Prime Market
a. all attachments as for 7.1., along with:
b. capital as at last audited balance sheet (with date)
c. additionally:
− audited annual reports for past 3 financial years
− completed form Distribution of Class of Shares in Public with no. of
shareholders
d. issuer’s statements:
▪ The issuer hereby commits to disclose information and report under
International Financial Reporting Standards.
▪ The issuer hereby commits to provide the summaries of its public
announcements in English.
▪ The issuer hereby commits to publish its interim reports, financial
calendar and declaration on compliance with a Corporate Governance
Code, in accordance with Article 26 of the Rules.
▪ The issuer hereby commits to strive to the best of its abilities to meet
the best practices of disclosure, stipulated in the Exchange Guidelines on
Disclosure.
24 | Instructions for Stock Market Issuers
The applicant hereby states that all the securities from the class subject to the application for listing on the stock
exchange market are fully paid-in and freely transferable.
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only
a part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full
application includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement
signed by the applicant. The Listing Agreement is available at the Exchange.
25 | Instructions for Stock Market Issuers
DISTRIBUTION OF CLASS OF SHARES IN PUBLIC
(Form 02/SVP)
Issuer firm
Distribution as at (date)
No. of shares % in total issue
Shares held by individuals, exceeding 5% of the entire issue
Shares held by members of management, if their stakes
together exceed 5% of the entire issue
Shares held by members of supervisory board, if their stakes
together exceed 5% of the entire issue
Shares held by open-end funds and pension funds, if their stake
exceeds 25% of the entire issue
Total shares to be listed
No. of all shareholders
(Legally binding signature and issuer’s seal)
26 | Instructions for Stock Market Issuers
APPLICATION FOR TRANSFER OF SHARES
(Form 03/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. General information on issuer
1.1.Current market (circle) Prime Market Standard Market
1.2. Desired market (circle) Prime Market Standard Market
1.3. Issuer firm
1.4. Issuer address
1.5. Issuer ID no.
1.6. Issuer LEI Code
1.7. Date of incorporation
1.7. General information on share to be listed
a. Symbol
b. Class
c. Number
d. Type (circle) no-par value shares par value shares
e. Nominal value (for par value shares)
f. Total issue value
2. Liquidity provider (LP) (fill out if applicable) yes no
2.1. LP firm
2.2. LP registered office
Issuer Statement: by signing this application the issuer confirms to have concluded a valid agreement on liquidity
provision for the class of shares subject to this Application.
3. Transfer between markets – Conditions, and attachments required along with Application
3.1. Transfer onto Prime Market
a. capital as at last audited balance sheet (with date)
b. audited annual reports for past 3 financial years
c. completed form Distribution of Class of Shares in Public with no. of
shareholders
d. issuer’s statements:
▪ The issuer hereby commits to disclose information and report under
International Financial Reporting Standards.
▪ The issuer hereby commits to provide the summaries of its public
announcements in English.
▪ The issuer hereby commits to publish its interim reports, financial
calendar and declaration on compliance with a Corporate Governance
Code, in accordance with Article 2 of the Rules.
27 | Instructions for Stock Market Issuers
▪ The issuer hereby commits to strive to the best of its abilities to meet
the best practices of disclosure, stipulated in the Exchange Guidelines
on Disclosure.
4. The applicant hereby commits to settle the transfer fee, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
28 | Instructions for Stock Market Issuers
APPLICATION FOR CHANGE IN NUMBER AND/OR FEATURES OF LISTED
SECURITIES OR MONEY MARKET INSTRUMENTS (Form 04/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. Issuer firm
2. Issuer registered address
3. Issuer address
4. Issuer ID no.
5. Security or money market instrument subject to change
a. Symbol
b. Type
c. Class
d. Number before change
6. Type of change
7. Security or money market instrument after change
a. Symbol
b. Number
c. Nominal value
8. Prospectus
(publication date, venue)
9. Is the change in
accordance with the
published prospectus?
1. YES
2. NO
(circle in cases of changes in the
features of bonds)
10. Reference Price
(first trading day after the
change)
11. Additional clarifications of
the issuer
12. Attachments to Application
12.1. Application for increase in number of securities or money market instruments
a) If prospectus was drawn up • regulator’s decision on authorization of the prospectus;
29 | Instructions for Stock Market Issuers
• prospectus with possible supplements, in electronic form, authorized
by an authoritative body;
b) If prospectus was not mandatory • issuer's statement on making use of the exemption from publication
of the prospectus, along with the issuer’s notice on such a statement
having been provided to the regulator;
c) Always for change in number • relevant resolution on the respective increase adopted by the AGM;
• notice of the resolution on the capital increase being entered into the
register of companies, or the resolution on issuance of securities or
money market instruments;
• form 02/SVP: Distribution of Class of Shares in Public (provide in
cases of changes in the number of shares included in the Exchange’s
index SBI TOP);
• certificate stating that the securities have been validly issued (in
dematerialized form and have been entered into the central registry,
or in materialized form and are collectively held in the central
depository) and that the conditions for reliable settlement of trades in
these securities or money market instruments are met;
• evidence of payment of the fee for deciding on the change (payment
is to be credited in compliance with the Exchange Fee Schedule in
force from time to time, to current account number 03100-
1006373354 held by SKB BANKA d. d. Ljubljana)
12.2. Application for decrease in number of securities or money market instruments
• relevant resolution on the respective change adopted by the AGM or
notice of the resolution on the capital decrease being entered into
the register of companies;
• evidence of payment of the fee for deciding on the change (payment
is to be credited in compliance with the Exchange Fee Schedule in
force from time to time, to current account number 03100-
1006373354 held by SKB BANKA d. d. Ljubljana)
12.3. Application for change in features of securities or money market instruments
• relevant resolutions on the respective change adopted by the AGM or
other authoritative body;
◼ in cases of changes in features of bonds:the form Issuer Fact
Sheet completed and submitted to the Exchange by e-mail
◼ amended and with KDD negotiated amortisation schedule;
• certificate stating that the securities have been validly issued (in
dematerialized form and have been entered into the central registry,
or in materialized form and are collectively held in the central
depository) and that the conditions for reliable settlement of trades in
these securities or money market instruments are met;
• evidence of payment of the fee for adopting decisions (payment is to
be credited in accordance with the Exchange Fee Schedule in force
from time to time, to current account number 03100-1006373354
held by SKB BANKA d. d. Ljubljana)
13. The applicant hereby states that all the securities or money market instruments from the class subject to the
application for listing on the stock exchange market are fully paid-in and freely transferable.
14. The applicant hereby commits to settle the listing fee for the listing of further issues, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
30 | Instructions for Stock Market Issuers
APPLICATION FOR TEMPORARY SUSPENSION OF TRADING IN
SECURITIES OR MONEY MARKET INSTRUMENTS (Form 05/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. Issuer firm
2. Issuer registered office
3. Issuer address
4. Issuer ID no.
5. Security or money market instrument to be suspended
a. Symbol
b. Type
6. Reason for temporary suspension of trading (circle number before reason)
6.1. The issuer’s business operations have encountered a business event or circumstance not known to the wide
public, which could affect the price of the issuer’s security or money market instrument, and the issuer has been
unable to inform the public of the specific event or circumstance in due time.
6.2. An important business event (the signing/cancellation of a contract, adoption of a resolution by the supervisory
board or AGM, etc) will occur during trading hours and the issuer will not be able to ensure confidentiality of the
relevant information before it is properly publicly disclosed.
6.3. A temporary suspension of trading is necessary due to procedures to be carried out in the KDD central registry.
6.4. Other reasons (e.g. extension of a temporary suspension of trading, etc).
6.5. The issuer has encountered circumstances due to which the management intends to file or has filed for the
initiation of bankruptcy proceedings in accordance with the Financial Operations, Insolvency Proceedings and
Compulsory Dissolution Act (ZFPPIPP).
6.6. The issuer has encountered circumstances that could result in the company’s compulsory settlement or
bankruptcy or other proceedings in accordance with ZFPPIPP, while:
• the media had been speculating on the issuer’s financial health and future operations, or
• an important business event has occurred or could occur, or a key decision has been or could be adopted
by the issuer, which will impact the company’s future operations, but since the decision was adopted
independently of the company’s management and supervisory bodies the issuer was unable to ensure a
proper public announcement.
6.7. On AGM the shareholders adopted a decision on minority squeeze-out and transfer of shares to the majority
shareholder.
In cases from points 6.1, 6.2 and 6.3, the issuer commits to ensure proper public disclosure of the
relevant information. The temporary suspension of trading shall last one trading day at the most, unless
the circumstances of a case of the issuer's application demand a longer halt.
7. Additional explanation
31 | Instructions for Stock Market Issuers
8. Proposed duration of suspension of trading
a) beginning of suspension (day & time or »as soon
as possible«)
b) resumption of trading (day & time or description,
e.g. after the procedure in central registry has been
carried out)
9. Contact details
a) issuer contact person
b) telephone no
c) fax no
10. Attachments
• Requisite attachments evidencing that the Application is well-grounded
• evidence of payment of the fee for adopting decisions (payment is to be credited in accordance with the
Exchange Fee Schedule in force from time to time, to current account number 03100-1006373354 held by
SKB BANKA d. d. Ljubljana)
(Legally binding signature and issuer’s seal)
32 | Instructions for Stock Market Issuers
APPLICATION FOR DELISTING
SECURITIES OR MONEY MARKET INSTRUMENTS (Form 06/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. Issuer
Firm
Registered office
Address
ID no.
2. Person that filed the
Application for listing without
the issuer’s consent
3. Security or money market instrument to be delisted
a) Type
b) Symbol
c) Class
d) Number
4. Currently listed on (market)
5. Reason for delisting (mark) • just reason related to the issuer or security or money market
instrument (e.g. merger or corporate restructuring, or dissolution);
• resolution by the General Meeting of Shareholders / Bondholders on
delisting from the regulated market.
6. General Meeting of Shareholders / Bondholders that adopted the resolution on delisting
a) Date of meeting
b) % of share capital, minus % of
treasury shares (% of shares with
voting rights), supported resolution
on delisting shares or
% of the sum of all liabilities
contained in a certain bond issue,
supported resolution on delisting of
bonds
c) Delisting date
(when legal requirements are met)
Attachment to Application:
• copy of AGM’s notary’s minutes, copy of the entry of the resolution on delisting into the register of companies
(for delisting of shares)
• copy of notary’s minutes from the bondholders’ meeting, notice on the public announcement of the notary’s
minutes from the bondholder’s meeting (for delisting of bonds)
7. Proposed date of delisting
33 | Instructions for Stock Market Issuers
8. Additional explanation
9. Attachment to Application • evidence of payment of the fee for deciding on delisting (payment
is to be carried out in compliance with the temporary Exchange Fee
Schedule, to account number 03100-1006373354 held by SKB
BANKA d. d. Ljubljana)
(Legally binding signature and issuer’s seal)
34 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING BONDS
(Form 07/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. Issuer
1.1. Issuer firm
1.2. Issuer registered office
1.3. Issuer address
1.4. Issuer ID no.
1.5. Issuer LEI Code
1.6. Issuer home state
(for bonds by issuers from third countries give investment firm authorized for listing
procedure)
1.7. Issuer activity
1.8. Bond to be listed
a. Symbol
b. Type
c. Number
d. Issue value
f. Name of central depository of dematerialized securities
and date of entry into central depository
g. Materialized shares collectively held in central depository
1.9. Type of bonds
(choose a suitable type for each item a), b) and c)
a) Ordinary Subordinated
b) sovereign
bond
other public
bond
convertible
bond
covered bond corporate
bond
other
c) senior debt mezzanine subordinated debt junior debt
1.10. Prospectus published (date, venue)
Does the prospectus provide the procedure and manner in
which the changes of the essential features in bonds shall
be carried out?
yes no
Does the prospectus provide other changes, which could
affect trading or due to which adjustments on the Exchange
or in KDD would be needed?
yes no
1.11. Currently listed on another regulated
market (circle)
yes no
35 | Instructions for Stock Market Issuers
Which regulated market
1.12. Selected officially appointed mechanism
(OAM)
1.13. Manner of publishing information (which
medium)
2. Contact info
a. Issuer’s contact person
b. Telephone no.
c. E-mail address
3. Attachments required along with Application
a) If prospectus was drawn up • regulator’s decision on authorization of the prospectus
• prospectus with possible supplements in electronic form, authorized by
an authoritative body
b) If prospectus was not
mandatory
• issuer's statement on making use of the exemption from publication of
the prospectus, along with the issuer’s notice on such a statement
having been provided to the regulator;
c) Always for listing bonds • certificate stating that the legal position of the issuer (its incorporation
and legal form of organization) is in compliance with the regulations in
force in the state of its registered office:
▪ issuer’s articles of association, consolidated version;
▪ extract from the register of companies;
• certificate stating that the securities have been validly issued (in
dematerialized form and have been entered into the central registry, or
in materialized form and are collectively held in the central depository)
and that the conditions for reliable settlement of trades in these
securities are met;
• the form Issuer Fact Sheet completed and emailed to the Exchange;
• evidence of payment of the fee for deciding on listing (payment is to be
credited in compliance with the Exchange Fee Schedule in force from
time to time, to current account number 03100-1006373354 held by SKB
BANKA d. d. Ljubljana)
4. Applicant’s Commitments
• The applicant hereby states that all the securities subject to the application for listing on the stock exchange
market are fully paid-in and freely transferable.
• The applicant hereby commits to settle the listing fee, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only
a part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full
application includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement
signed by the applicant. The Listing Agreement is available at the Exchange.
36 | Instructions for Stock Market Issuers
BOND ISSUE FACT SHEET
(Form 08/SVP)
Please return the completed fact sheet to the Exchange by e-mail.
Applicant
Date filed
Date received
(completed by Exchange)
Issuer and contact person
Symbol (completed by Exchange)
Issuer name (e.g. Republic of Slovenia)
Security name and number of issue ( e.g. Republic of Slovenia, 54th issue)
Issuer business (completed by Exchange)
Contact person (e.g. Market Operations)
Telephone (e.g. 00 386 (1) 47 10 202)
E-mail (e.g. [email protected])
Issued bonds
Maturity period ( 3 years, 4 years, etc)
Type of bond (completed by Exchange)
Currency ( EUR, etc)
Denomination – lot trading unit (e.g. EUR 1,000)
Total number of bonds in issue (e.g. 10,000)
Total nominal value of entire issue (e.g. EUR 100,000)
ISIN (completed by Exchange)
Fixed interest rate (e.g. 5.35%)
Floating interest rate (e.g. EURIBOR, etc)
Manner of payment (e.g. annually, semi-annually, etc)
Number of payments in a year (completed by Exchange)
Coupon date (e.g. 1.6., 1.12.)
First coupon date (e.g. 1.6.2020)
Last coupon date (e.g. 1.6.2030)
Coupon payment date (e.g. 1.6., 1.12.)
Listed from (date) (completed by Exchange)
Accrual period from (e.g. 1.6.2013)
Maturity date (e.g. 1.6.2020)
Early cancellation / redemption (yes, no, etc)
Early payment (yes, no, etc)
Data for calculation and payment of interest
Manner of calculating fixed interest (straight, exponential, etc)
Considered nr. of days is month / year (30/360, actually, etc)
Interest period (first / last day) (first: yes / last: no; first: no / last: yes …)
Rounding off of interest (nr. of decimal places) ( e.g. 2 decimal places, etc)
Rounding off of interest factors (nr. of dec. places) ( e.g. 8 decimal places, etc)
Revalorised value ascribed to principal (yes, no, etc)
37 | Instructions for Stock Market Issuers
Interest payable on (principal, revalorised principal, etc)
Moratorium on principal repayment (date) (e.g. 1.6.2013)
Manner of principal repayment (annually, at the end, etc)
Coupon payments include (fixed interest, floating interest, etc)
Other information
Liabilities guarantee
(e.g. The issuer’s liabilities are secured with all its assets.)
Purpose of issue
(e.g. Issued to credit the state budget.)
Other rights from bonds
(e.g. Right to receive payment of the principal and belonging
interest.)
Record date
Coup. # Symbol Coupon
date Debt status
Interest
payment
Principal
payment
Coupon
value
(or total
payment
for
commercial
papers)
Currency
0
1
2
3
4
38 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING OPEN-END FUND SHARES
(Form 9/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. Open-end fund
1.1. Fund name
1.2. Type (equity, bond, balanced, etc)
1.3. Incorporated on:
1.4. No. of shareholders (on date)
1.5. No. of fund shares (on date)
1.6. NAV per unit (on date)
1.7. One fund share is worded on ______________________ (number) of fund net asset units
1.8. Entry into register of dematerialised sec. (date)
1.9. Issuer home state
for issuers from third countries give the inv. firm authorized for the listing
procedure
1.10. Issuer LEI Code
1.11. Issuer activity
1.12. Reference price on first trading day
2. Fund Management Company (DZU)
2.1. DZU firm
2.2. DZU registered office
2.3. DZU address
2.4. DZU ID no.
3. Custodian
3.1. Custodian firm
3.2. Custodian registered office
4. Liquidity provider (LP) (complete if applicable)
4.1. LP firm
4.2. LP registered office
5. Selected officially appointed mechanism
(OAM)
6. Manner of publishing information
(which medium)
7. Prospectus published (date and venue)
8. Contact info
a) Issuer’s contact person
39 | Instructions for Stock Market Issuers
b) Telephone no.
c) E-mail address
9. Listing on the stock exchange market – Conditions, and requisite attachments to Application
• certificate stating that the securities have been validly issued (in dematerialized form and have been entered
into the central registry, or in materialized form and are collectively held in the central depository) and that the
conditions for reliable settlement of trades in these securities are met;
• regulator’s decision on having issued the authorization for rendering investment fund management services;
• DZU articles of association, consolidated version;
• regulator’s decision on having issued the licence to manage the open-end fund, the shares of which are subject
of this Application;
• regulator’s decision authorising the prospectus and summary of the prospectus;
• open-end fund prospectus and summary of the prospectus (drawn up in accordance with the Investment Funds
and Management Companies Act – ZISDU), in electronic form, as authorised by an authoritative body;
• open-end fund Rules of Management, and the regulator’s approval of the Rules;
• evidence of payment of the fee for deciding on listing (payment is to be carried out in accordance with the
Exchange Fee Schedule in force from time to time, to account number 03100-1006373354 held by SKB BANKA
d. d. Ljubljana);
• open-end fund audited annual report and latest semi-annual report, if existent;
• DZU audited annual report, if existent.
The applicant hereby states that all the securities subject to the application for listing on the stock exchange market
are freely transferable.
The applicant hereby binds to pay the listing fee, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only
a part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full
application includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement
signed by the applicant. The Listing Agreement is available at the Exchange.
40 | Instructions for Stock Market Issuers
REPORT ON OPEN-END FUND NAV PER UNIT
(Form 10/SVP)
Asset management firm
Serial number of report
Date of report
LJSE fax number
+386 1 / 47 10 203
LJSE telephone number
+386 1 / 47 10 202
Address to
Market Operations Department
Date of NAV
Symbol
NAV (in EUR)
(Legally binding signature and issuer’s seal)
----------------------------------------------------------------Completed by Exchange--------------------------------------------------
-------
Received: Date: ___________________ Recorded: Date: __________________
Time: ___________________ Time: __________________
Signature: _______________
41 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING CLOSE-END FUND SHARES
(Form 11/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
Issuer – Investment company (ID)
1. Issuer firm
2. Issuer registered office
3. Issuer address
4. Issuer ID no
5. Issuer LEI Code
6. Incorporated on
7. Share capital (on a specified date)
Issuer home state
for issuers from third countries give the investment firm authorized for the listing
procedure
8. Issuer activity
Asset management company
(DZU)
9. DZU firm
10. DZU registered office
11. Issuer home state _________________________________________________________________
for issuers from third countries give the investment firm authorized for the listing
procedure
12. Close-end fund shares
for listing
a. type (mark) par shares no par shares
b. number
c. nominal value (if applicable)
d. issue value
13. Capital after last aud. bal.
sheet
(on a specific date)
134 Number of shareholders (on a specific date)
15. Reference price (on first day of trading)
16. Selected OAM
17. Manner of publishing
information (which medium)
42 | Instructions for Stock Market Issuers
18. Prospectus,
date & venue of publication
19. Contact info
a) Issuer’s contact person
b) Telephone no.
c) E-mail address
20. Attachments to Application
a) If prospectus was drawn up • regulator’s decision on authorization of the prospectus
• prospectus with possible supplements in electronic form, authorized by an
authoritative body
b) If prospectus was not
mandatory
• issuer's statement on making use of the exemption from publication of the
prospectus, along with the issuer’s notice on such a statement having
been provided to the regulator;
c) • regulator’s decision to provide investment fund management services;
• regulator’s licence to manage investment funds;
• certificate stating that the legal position of the issuer (its incorporation and
legal form of organization) is in compliance with the regulations in force in
the state of its registered office:
◼ DZU and close-end fund articles of association, consolidated
version;
◼ extract from the register of companies;
• close-end fund audited annual report and most recent semi-annual report,
if existent;
• certificate stating that the securities have been validly issued (in
dematerialized form and have been entered into the central registry, or in
materialized form and are collectively held in the central depository) and
that the conditions for reliable settlement of trades in these securities are
met
• DZU audited annual report, if existent;
• evidence of payment of the fee for deciding on listing (payment is to be
credited in compliance with the Exchange Fee Schedule in force from time
to time, to current account number 03100-1006373354 held by SKB
BANKA d. d. Ljubljana).
21. The applicant states that all the securities from the class subject to the application for listing on the stock exchange
market are fully paid-in and freely transferable.
22. The applicant commits to settle the listing fee, as invoiced by the Exchange.
23. Reporting and disclosure
In accordance with the provisions of ZISDU-3 (Investment Funds and Management Companies Act), the DZU must
daily report the close-end value to the Exchange, as stipulated in the Exchange Instructions for Reporting the Close-
End Fund Share Value. The DZU managing the fund whose shares are listed on the regulated market must provide the
respective close-end fund values as of the previous trading day to the Exchange by 15.00 on a given trading day at
the latest.
The applicant must comply with all currently valid regulations stipulating the obligations of disclosure and reporting on
the business activities of close-end funds.
43 | Instructions for Stock Market Issuers
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only
a part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full
application includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement
signed by the applicant. The Listing Agreement is available at the Exchange.
.
44 | Instructions for Stock Market Issuers
REPORT ON VALUE OF CLOSE-END FUND SHARES
(Form 12/SVP)
Asset management firm
Serial number of report
Date of report
LJSE telephone number
+386 1 / 47 10 202
Address to
Market Operations Department
Date of close-end fund value
Symbol
Book value (in EUR)
Note:
The close-end fund share value is calculated on the basis of the close-end fund net asset value (share book value).
(Legally binding signature and issuer’s seal)
----------------------------------------------------------------Completed by Exchange--------------------------------------------------
-------
Received: Date: ___________________ Recorded: Date: __________________
Time: ___________________ Time: __________________
Signature: _______________
45 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING STRUCTURED PRODUCTS
(Form 13/SVP)
Applicant
Date filed
Date received
(completed by Exchange)
1. Structured product (circle) a. investment certificates
b. warrants
c. freely transferrable rights upon increases of share capital
d. other
2. Issuer
Issuer firm
Issuer registered office
Issuer address
Issuer ID no.
Issuer LEI Code
Issuer home state
Issuer activity
For issuers from third countries give the investment firm authorized for the listing procedure
3. Security to be listed
a) type
b) class
c) value
d) number
e) symbol
f) name of depository of
dematerialized securities
and date of entry
g) reference price (on first trading day)
h) entry into central
depository / register
i) materialized securities held
in central depository
4. Selected OAM
5. Manner of publishing
information (which
medium)
6. Prospectus,
publication date and venue
46 | Instructions for Stock Market Issuers
7. Contact info
a) Issuer’s contact person
b) Telephone no.
c) E-mail address
8. Attachments required with Application
a) If prospectus was drawn up • regulator’s decision on authorization of the prospectus;
• prospectus with possible supplements in electronic form, authorized
by an authoritative body;
b) If prospectus was not mandatory • issuer's statement on making use of the exemption from publication
of the prospectus, along with the issuer’s notice on such a statement
having been provided to the regulator;
c) Always for listing depositary receipts • certificate stating that the legal position of the issuer (its
incorporation and legal form of organization) is in compliance with
the regulations in force in the state of its registered office;
▪ issuer’s articles of association, consolidated version;
▪ extract from the register of companies;
• certificate stating that the securities have been validly issued (in
dematerialized form and have been entered into the central registry,
or in materialized form and are collectively held in the central
depository) and that the conditions for reliable settlement of trades in
these securities are met;
• evidence of payment of the fee for deciding on listing (payment is to
be credited in compliance with the Exchange Fee Schedule in force
from time to time, to current account number 03100-1006373354
held by SKB BANKA d. d. Ljubljana).
9. Additional information for freely transferrable rights upon increases of share capital
Date of conferring rights
Date of termination of rights
10. Applicant’s Commitments
• The issuer hereby states that all the securities subject to the application are freely transferable.
• The applicant hereby commits to settle the listing fee, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only
a part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full
application includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement
signed by the applicant. The Listing Agreement is available at the Exchange.
47 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING DEPOSITARY RECEIPTS
(Form 14/SVP)
Applicant
(firm, registered address, ID no.)
Date filed
Date received
(completed by Exchange)
Desired market segment
1. DR refers to the following security
Type
Issuer (firm, registered office)
Issuer LEI Code
Symbol
Number
Issue size
Market segment
Issuer activity
2. DR (depositary receipt)
Symbol
Type, class
Issue value
Number
Name of depository of dematerialized securities,
date of entry
Entry into central depository
Materialized securities held in central depository
3. Selected OAM
4. Manner of publishing information
(which medium)
5. Issuer home state
for issuers from third countries give the inv. firm authorized for the listing procedure
6. Prospectus, date & venue of publication
7. Contact info
a) Issuer’s contact person
b) Telephone no.
c) E-mail address
48 | Instructions for Stock Market Issuers
8. Attachments required with Application
a) If prospectus was drawn up • regulator’s decision on authorization of the prospectus
• prospectus with possible supplements in electronic form,
authorized by an authoritative body
b) If prospectus was not mandatory • issuer's statement on making use of the exemption from
publication of the prospectus, along with the issuer’s
notice on such a statement having been provided to the
regulator;
c) Always for listing depositary receipts • certificate stating that the legal position of the issuer (its
incorporation and legal form of organization) is in
compliance with the regulations in force in the state of its
registered office:
▪ issuer’s articles of association, consolidated version
▪ extract from the register of companies
• certificate stating that the securities have been validly
issued (in dematerialized form and have been entered into
the central registry, or in materialized form and are
collectively held in the central depository) and that the
conditions for reliable settlement of trades in these
securities are met
• evidence of payment of the fee for deciding on listing
(payment is to be credited in compliance with the
Exchange Fee Schedule in force from time to time, to
current account number 03100-1006373354 held by SKB
BANKA d. d. Ljubljana)
10. Applicant’s Commitments
• The issuer hereby states that all the securities subject to the application are freely transferable.
• The applicant hereby commits to settle the listing fee, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only
a part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full
application includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement
signed by the applicant. The Listing Agreement is available at the Exchange.
49 | Instructions for Stock Market Issuers
USER'S E-MAIL ADDRESS
(Form 15/SVP)
In accordance with the Ljubljana Stock Exchange Instructions for Stock Exchange Market Issuers, the User hereby
provides the LJSE with its contact e-mail address:
Firm
Address
E-mail address
The User hereby agrees that information it receives from the LJSE by e-mail is to be considered as officially served
on the User.
Date
(Legally binding signature and issuer’s seal)
50 | Instructions for Stock Market Issuers
APPLICATION FORM FOR LISTING MONEY MARKET INSTRUMENTS
(Form 16/SVP)
Applicant
(firm, registered address, ID no.)
Date filed
Date received
(completed by Exchange)
1. Type of money market
instrument:
2. General information:
Issuer firm
Issuer registered office
Issuer address
Issuer ID no.
Issuer Lei Code
Issuer home state
Issuer activity
For issuers from third countries give the investment firm authorized for the listing procedure
3. Money market instrument to be listed:
a. type
b. issue value
c. number
d. symbol
e. name of depository of dematerial.
securities, and date of entry
f. reference price (on first trading day)
g. entry into central depository /
register
4. Selected OAM
5. Manner of publishing
information (which medium)
6. Contact info
a) Issuer’s contact person
b) Telephone no.
c) E-mail address
7. Attachments required with Application
• basic information on the money market instrument (presentation document) – submit by e-mail
• certificate stating that the legal position of the issuer (its incorporation and legal form of organization) is in
compliance with the regulations in force in the state of its registered office;
issuer’s articles of association, consolidated version;
extract from the register of companies;
51 | Instructions for Stock Market Issuers
• certificate stating that the money market instruments have been validly issued (in dematerialized form and
have been entered into the central registry, or in materialized form and are collectively held in the central
depository) and that the conditions for reliable settlement of trades in these money market instruments are
met
• evidence of payment of the fee for deciding on listing (payment is to be credited in compliance with the
Exchange Fee Schedule in force from time to time, to current account number 03100-1006373354 held by SKB
BANKA d. d. Ljubljana)
8. Applicant’s Commitments
• The applicant hereby states that all the money market instruments subject to the application for listing on the
stock exchange market are fully paid-in and freely transferable.
• The applicant hereby commits to settle the listing fee, as invoiced by the Exchange.
(Legally binding signature and issuer’s seal)
Note: In accordance with Articles 187 and 190 of the Rules, the Application Form for Listing Shares constitutes only a
part of the full application on the basis of which the Exchange may adopt the decision to list shares. The full application
includes the completed and duly signed Application Form for Listing Shares and the Listing Agreement signed by the
applicant. The Listing Agreement is available at the Exchange.